Wednesday, December 2 | 6 pm – 8 pm
Program Chair
Steven R. Peikin
Sullivan & Cromwell LLP
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Insider trading continues to be a high enforcement priority for both the SEC and DOJ. Both agencies have devoted unprecedented resources to investigating insider trading violations, continue to employ aggressive investigative techniques, and ventured into new substantive territories and prosecution theories. The result has been a continuing heavy docket of criminal and civil investigations and prosecutions and a continuing effort to chart new ground in insider trading prosecutions.
At this program, a panel of experts will discuss the new frontiers being explored in recent cases. The course will cover the following topics, among others:
- Enforcement priorities
- Insider trading liability of tippees after US v Newman
- Insider trading involving commodities, futures and derivatives, debt and credit instruments
- Enforcement of the Stock Act
- Prosecution and defense strategies
Live Program: $199 Member | $299 Nonmember
In-House: $119 Member | $219 Nonmember
Government and Nonprofit/Full-Time Academics and Students: $99 Member | $199 NonmemberPlease call 212-382-6663 for the Small Law Firm Rate
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Antonia M. Apps
Milbank, Tweed, Hadley & McCloy LLPAlan Cohen
Executive Vice-President and Head of Global Compliance
Goldman Sachs & Co.Katherine R. Goldstein
Chief, Securities and Commodities Fraud Task Force
US Attorney’s Office, SDNYCharles Riely
Assistant Regional Director
U.S. Securities and Exchange CommissionSilvia L. Serpe
Serpe Ryan LLP -
6:00 pm – 6:15 pm Introduction and Panel Overview
Panelists
6:15 pm – 7:00 pm US v. Newman – Impact and Consequences for Enforcement
Panelists
7:00 pm – 7:30 pm Stock Act and CFTC Enforcement of Insider Trading
Panelists
7:30 pm – 8:00 pm Case Study: In Re Ruggieri
Panelists
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CLE Credit
NY: 2.0 professional practice
NJ: 2.4 general
CA: 2.0 general
PA: 1.5 general
Click Here to View our Products Catalog for CDs, DVDs, and Materials
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Sponsoring Association Committee:
White Collar Crime, Karen Seymour, ChairSponsorship Opportunities are Available! Please Contact:
Laura S. Poles, Program Attorney
Lpoles@nycbar.org |212.382.6619____________________________________________________________________________________________